An investment adviser settled charges with the SEC for failing to disclose to the Board of an ETF managed by the adviser, the terms of a contract with a social media influencer.
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An investment adviser settled charges with the SEC for inaccurately describing investments in periodic reports.
SEC Director of the Division of Investment Management William Birdthistle proposed changes to investment fund rules that would enhance disclosure requirements.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
The SEC adopted a final rule on exemptions for mutual funds, exchange-traded funds, registered closed-end funds and business development companies when entering into derivatives transactions.